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Preparing for the Consolidated FINRA Registration Rules and Restructured Examination Requirements

USA - June 25 2018 In October 2017, the Financial Industry Regulatory Authority (FINRA) announced, through Regulatory Notice 17-30 (the “Notice”), that the U.S...

Jennifer D. Morton, Jenny Ding Jordan, Russell D. Sacks, Steven Blau.


FinCEN’s Customer Due Diligence Rule Becomes Effective; FinCEN and FINRA Guidance Provides Interpretive Color for Firms Working to Comply

USA - May 21 2018 May 11, 2018 marked the compliance date for the Customer Due Diligence Requirements for Financial Institutions rule issued by the U.S. Treasury...

Stuart K. Fleischmann, Nathan J. Greene, Jennifer D. Morton, Merritt S. Johnson, Ilir Mujalovic, Lona Nallengara, Andrew J. (Buddy) Donohue, Jay G. Baris, Russell D. Sacks.


FINRA Releases New Guidance Regarding Social Media and Digital Communications

USA - June 26 2017 On April 25, 2017, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 17-18, Social Media and Digital Communications (the...

Jennifer D. Morton, Jenny Ding Jordan, Russell D. Sacks, Steven Blau.